EFTA Document EFTA01403958

Subject: CLEARED: rdc alert [I] From: PWMUS AMLKY Date: Fri, 06 Feb 2015 16:08:43 -0500 To: Amanda Kirby Cc: PWMUS AMLKYC Classification: For internal use only Hi Amanda: AML Compliance has reviewed the attached alerts for The alerts are a positive match to The firs a er re ers o a civil lawsuit, to which was secon a ert refers a n w is alleged that Mr. Epstein sexually abused underage girls Mr. Epstein plead guilt to soliciting prostitution and served a year in 3as The attached clearance and senior management approval issued by AML Compliance on 12/4/2013 is applicable as clea the alerts. The new alerts came about as there is an update to KYClibili. AML Com liance also confirmed that the relationship is still marked as High Risk, and is one of several where Mr. Epstein Is t e rantor of not opening an account and has no authority ccount. As such, the attached clearance is still applicable for alerts. Kind Regards, MC (Embedded image moved to file: pic16109.gif)cid:image001.gif@01D0420B.30F6D2A0 Monifa Crawford, JD Associate I AML Compliance Officer Deutsche Bank Securities Inc. Private Wealth Management - AML Compliance 5022 Gate Parkway, Suite 400. Jacksonville, Florida 32256. USA Tel. Mobil Email Visit us: http://www.db.com (Embedded image moved to file: pic01669.gif)cid:image002.gif@01D0420B.30F6D2A0 Forwarded by Monifa Crawford/db/dbcom on 02/06/2015 03:23 PM From: Amanda Kirby/db/dbcom@DBCOEX EFTA01403958 To: PWMUS AMLKYC/db/dbcom@DBAmericas, Date: 02/06/2015 12:59 PM Subject: RE: FW: rdc alert [I] Classification: For internal use only Hi, Yes. Thi is art of the Both alerts pertain to the same case. It was resolved and From: Monifa Crawford On Behalf Of PWMUS AMLKYC Sent: Friday, February 06, 2015 12:55 PM To: Amanda Kirby Cc: PWMUS AMLKYC Subject: RE: FW: rdc alert [I) Classification: For internal use only Thanks. Do you have any information on the second alert from the client? It does not appear that this was prior addressed in previous clearances. Has the been resolved? MC (Embedded image moved to file: pic03573.gif)Inactive hide details for Amanda Kirby---02/06/2015 12:48:35 PM---Classification: For internal use only Yes. This is still corrAmanda Kirby---02/06/2015 12:48:35 PM---Classification: For internal use only Yes. This is still correct. and not opening he (Embedded image moved (Embedded image moved to file: pic14919.jpg) to file: pic05553.jpg) cid:image004.png@01D0420C.C47C8500 cid:image003.png@01D042 Amanda Kirby/db/dbcom@DBCOEX 0C.C47C8500 From: (Embedded image moved (Embedded image moved to file: pic25886.jpg) to file: pic05975.jpg) cid:image004.png@01D0420C.C47C8500 cid:image003.png@01D042 PWMUS AMLKYC/db/dbcom@DBAmericas, 0C.C47C8500 To: EFTA01403959 (Embedded image moved (Embedded image moved to file: pic25805.jpg) to file: pic15507.jpg) cid:image004.png@01D0420C.C47C8500 cid:image003.png@01D042 02/06/2015 12:48 PM 0C.C47C8500 Date: (Embedded image moved (Embedded image moved to file: pic26542.jpg) to file: pic19840.jpg) cid:ima 420C.C47C8500 cid:image003.png@01D042 RE: FW: rdc alert [I] 0C.C47C8500 Subject: Classification: For interns Yes. This is still correct. and not opening her own account. From: Monifa Crawford On Behalf Of PWMUS AMLKYC Sent: Friday, February 06, 2015 12:45 PM To: Amanda Kirby Cc: PWMUS AMLKYC Subject: Re: FW: rdc alert [I) Classification: For internal use only Hi Amanda: The last time the alert was reviewed, ens named as where Mr. Epste n was t e Grantor of was not opening an account and has no autho y e account. Please advise if this is still her current status on the accounts with the Private Bank. Kind Regards, MC (Embedded image moved to file: pic29442.gif)cid:image001.gif@01D0420B.30F6D2A0 Monifa Crawford, JD Associate I AML Compliance Officer Deutsche Bank Securities Inc. Private Wealth Management - AML Compliance 5022 Gate Parkway, Suite 400. Jacksonville Florid 32256. USA Tel. EFTA01403960 Mobile Email Visit us: http://www.db.com (Embedded image moved to file: pic32603.gif)cid:image002.gif@01D0420B.30F6D2A0 (Embedded image moved to file: pic23424.gif)Inactive hide details for Amanda Kirby---02/06/2015 09:56:42 AM---Classification: For internal use only These alerts are from 2Amanda Kirby---02/06/20 :56:42 AM---Classification: For internal use only These alerts are from I requested research after October 2013 as the below had alre (Embedded image moved (Embedded image moved to file: pic31409.jpg) to file: pic24304.jpg) cid:image006.png@01D0420B.30F6D2A0 cid:image005.png@01D042 Amanda Kirby/db/dbcom@DBCOEX 0B.30F6D2A0 From: (Embedded image moved (Embedded image moved to file: pic25783.jpg) to file: pic11307.jpg) cid:image006.png@01D0420B.30F6D2A0 cid:image005.png@01D042 PWMUS AMLKYC/db/dbcom@DBAmericas, 0B.30F6D2A0 To: (Embedded image moved (Embedded image moved to file: pic01808.jpg) to file: pic00666.jpg) cid:image006.png@01D0420B.30F6D2A0 cid:image005.png@01D042 02/06/2015 09:56 AM 0B.30F6D2A0 Date: (Embedded image moved (Embedded image moved to file: pic22065.jpg) to file: pic00318.jpg) cid:ima e006. n @01D0420B.30F6D2A0 cid:image005.png@01D042 FW: rdc alert [I] 0B.30F6D2A0 Subject: Classification: For internal use only These alerts are from I requested research after October 2013 as the below had already been cleared in the last KYC. Please clear again. Attached is the prior clearance. From: Urvashi Lavania On Behalf Of PWM BIS-Research Sent: Friday, February 06, 2015 9:52 AM To: Amanda Kirby Cc: PWMUS AMLKYC Subject: rdc alert [I] Classification: For internal use only EFTA01403961 Hello Attached is an alert for the party mentioned above. Please note that clearance from compliance is required prior to KYC approval. Please follow the instructions below: Forward explanation of whether the alert pertains to your client directly to compliance. Receive confirmation from compliance that alert can be removed from the queue. Include copies of all responses along with your KYC. ttached file: rdc alert ched file: rdc alert_l.pdf)(See attached file: rdc alert_gl./ Regards Urvashi[attachment ' Crawford/db/dbcom] [a ac men Monifa Crawford/db/dbcom] [attachment by Monifa Crawford/db/dbcom] [attachmen deleted by Monifa Crawford/db/dbcom] rdc alert df" deleted by Monifa rdc alert_l.pdf" deleted by rdc alert_2.pdf" deleted RDC Clearance.pdf" EFTA01403962